“The past year has been a master class in expecting the unexpected. Heightened regulations, new sanctions and continued shifts in the very nature of work aggregating to create an environment that necessitates agility in every aspect of your compliance program. Not to mention, increased liability – both for chief compliance officers (CCO) and compliance teams in general – compounding the already pressurized compliance ecosystem. In such a complex environment, knowledge really is power. In the 2022 edition of our CCO Playbook, we aim to provide that knowledge. Analyzing the past to forecast the future, and helping your team expect and adapt to whatever might come next.” – ComplySci CEO Amy Kadomatsu
In this webinar, we will explore the topics raised in the CCO Playbook, highlighting the evolution of the regulatory landscape and the tactical strategies firms must put into place in order to remain compliant.
Attendees will learn about:
- Key takeaways from 2021 enforcement action.
- Exam priorities and requirements for a successful 2022 compliance program.
- Active vs. apathetic compliance.
- Critical advice from fellow CCOs.
- Automating your processes – why technology is your best compliance partner.
Chief Technology Officer
Prior to joining ComplySci, Ms. Johnson, served as the chief technology officer at Data Dynamics, Inc. She also previously worked at AIG where she held numerous leadership positions, including serving as the global head of IT delivery partnership, head of science technology and chief data officer, as well as at Thompson Reuters Eikon, RBS Global Banking and Markets, and Bloomberg, among others.
She earned a Bachelor of Arts degrees in computer science and economics from Cornell University and currently serves as an advisory board member for Wallaroo Labs and Sorcero.
RIA in a Box
Kelly Igoe has been with RIA in a Box for over two years. She brings with her 17 years of experience with the Ohio Division of Securities as an attorney and outreach coordinator. Long ago, Kelly was series 7 registered with Lehman Brothers INC. as an institutional sales person, and more recently a Compliance Officer with Chase Investment Services. What brought Kelly to RIA in a Box, was the belief that all investment advisers should have a robust compliance program that includes the technology and personal consultation that RIA in a Box provides. Too many firms do not make compliance a daily task, and the platform offered keeps compliance officer up to date within the changing regulatory requirements.
NRS, a ComplySci company
Sr. Consultant, Project-Program Management
Drew Ahrens’ responsibilities as a Senior Consultant with National Regulatory Services includes on-site compliance reviews, risk assessments, procedure review, SEC mock examinations as well as other compliance related analysis for investment advisers, hedge funds and mutual funds.
Drew joined NRS in 2010 and has worked in the compliance field for the past 20 years. Prior to his current role, Drew has had extensive experience as Chief Compliance Officer with Atlantic Trust, FIM Group and Henderson Global Investors, and as CCO of their respective mutual fund companies. Most recently Drew had formed his own regulatory consulting firm, Crosswinds Consulting.
Drew has also worked for firms including PPM America as VP of Compliance, Cova Investment Advisory Corp. as Director of Investment Advisory Compliance and Van Kampen Asset Management as Risk Management Specialist and Compliance Associate.
Drew’s unique background gives him a strong understanding of a firm’s regulatory and CCO responsibilities. He has worked with various financial products, some of which include fixed income, hedge funds, REITS, annuities, options, open- and closed-end funds and private equity investments. Drew has also had experience with building successful compliance programs from the ground up.
Drew holds a Bachelor of Arts degree from Western Illinois University and has completed a mediation skills certificate program from Northwestern University.